Senior Originator, Structured Finance Solutions
FLORES
Trade Surveillance Associate, Compliance
TD
full-time
Posted on:
Location Type: Hybrid
Location: New York City • New York • 🇺🇸 United States
Visit company websiteSalary
💰 $100,000 - $135,000 per year
Job Level
JuniorMid-Level
About the role
- Monitor trade surveillance alerts and conduct investigations for TD Securities (US)
- Consistently exercise discretion, escalate issues, and manage confidential information
- Conduct reporting and meaningful analysis to draw conclusions and make recommendations
- Identify, recommend and execute standard practices and continuous process improvements
- Coordinate requests and tracking with business (Compliance) partners and support functions
- Prepare summaries, communications, reports and presentations for management, regulators, and stakeholders
- Build relationships with front office, Technology, Operations, and Compliance Advisory teams
- Provide coverage for surveillance modules and participate in cross-training and team discussions
- Keep abreast of emerging regulatory requirements, trends and assess potential impacts
- Maintain a culture of risk management and control; adhere to internal policies and regulatory guidelines
- Act as subject matter expert, support management, and liaise with auditors/regulators as needed
Requirements
- Preferred 3-5 years of experience in surveillance of either Fixed Income Products, Foreign Exchange and Commodities, Equities Options and Futures and/or Communications
- Education: Bachelors degree or progressive work experience
- 5-7 Years of related experience (listed under Education & Experience)
- Ability to exercise discretion in managing correspondence, information and confidentiality
- Knowledgeable of practices and procedures within own area and emerging trends
- Ability to identify and manage risks and escalate high-risk activities
- Experience conducting reporting and meaningful analysis and drawing conclusions/recommendations
- Familiarity with front office teams and support functions including Technology and Operations
- Experience coordinating with Compliance Advisory team and handling regulatory requests and alert escalations
- Ability to prepare summaries, communications, reports and presentations for management and regulators
- Experience with trade surveillance modules and surveillance tools; willingness to cross-train
- Strong communication, collaboration, and stakeholder management skills
- Ability to provide training, coaching and guidance to others
Benefits
- base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards)
- health and well-being benefits
- savings and retirement programs
- paid time off (including Vacation PTO, Flex PTO, and Holiday PTO)
- banking benefits and discounts
- career development, training programs, and online learning platform
- mentoring programs
- reward and recognition
- training & onboarding sessions
ATS Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard skills
trade surveillancereportingdata analysisrisk managementprocess improvementsurveillance toolsFixed Income ProductsForeign ExchangeCommoditiesEquities Options and Futures
Soft skills
discretionconfidentialitycommunicationcollaborationstakeholder managementtrainingcoachingguidance
Certifications
Bachelor's degree
